Please let Mark know the name & email of the person who left – and that she should no longer have VC access via Fredonia
Also after you get the Self Registration Link – see if you might need VC training.
Mark provides RF (under our system-wide license) training on a quarterly basis – you will receive these notices/dates for training directly once you are a VC user
Or Mark will provide training on-request (if there is an urgent need & you cannot wait for the next quarterly training)
Another alternative is - I am happy to walk you through the VC basics – in advance of the formal VC quarterly training, if that would help you
I hope this is a helpful start Paul – let me know if you need anything else! TY! ~C~
Each individual wishing to access Visual Compliance is required to have an individual Username and Password. To obtain your Username and Password please follow the link below and fill in the required information:
Once you have filled in the information, a confirmation email will be sent to you. You may then access VCII by going to https://www.visualcompliance.com/logon.cfm and entering your User ID. Your email address is your username. You created the password when you registered.
Please note that there will be a pop-up screen listing the Terms and Conditions. This is a one time only pop-up. If you have a pop-up blocker on your desktop you will not be able to view the screen and will not know why you cannot access the system. Please be aware that you need to view and accept the Terms and Conditions before you will be granted access. You should allow www.visualcompliance.com as a trusted website so you will be able to view the Terms and Conditions in the event of Pop-up blockers on you desktop.
If in future you forget your Password, go to the Visual Compliance site at https://www.visualcompliance.com/logon.cfm and click the “Forgot your Password” reminder. Enter your email address and your password will be emailed to you right away. Please feel free to contact me if you have questions or concerns with any of this information.
Please feel free to circulate this link to any users you wish to have access to Visual Compliance.
Risk Analysis
Use this checklist when reviewing the following:
Requests for proposals (RFPs) or solicitations
Funding proposals
Award notices
Cooperative agreements
International collaborations
Non-disclosure agreements
Any other documents relating to contracts, research proposals, sponsored programs, cooperative agreements or other arrangements for sponsored research projects or programs to assure there are no secrecy requirements and/or that there are no unacceptable restrictions.
Does this project or agreement:
Yes
No
1. Restrict researcher participation (faculty, student, or others) based on country of origin or citizenship?
2. Require researcher participation in US-citizen-only meetings?
3. Grant the sponsor a right of prepublication review for matters other than the inclusion of patent and/or proprietary sponsor information?
4. Provide that any part of the sponsoring, granting, or establishing documents may not be disclosed?
5. Limit access to confidential data and involved a controlled technology (see below)?
6. Involve research containing source code for encrypted software (other than publically available software distributed at no charge)?
9. Involve technical equipment or instructions concerning equipment, software, or technology on the USML or the CCL?
If the answer to any of these questions is ‘Yes,’ or if you have any other questions related to export controls, please contact Maggie Bryan-Peterson in the SUNY Office of Sponsored Programs at 716-673-3528 or Maggie.Bryan-Peterson@fredonia.edu.
Formal Written Compliance Program
Research Foundation of SUNY (RF) offers the following guidance:
What is an export?
The export regulations define an export as:
Any oral, written, electronic or visual disclosure, shipment, transfer or transmission outside the U.S. to any person or entity (including a U.S. citizen) of any commodity, technology (e.g., information, technical data, assistance) or software/codes.
Any oral, written, electronic or visual disclosure, transfer or transmission to any person or entity of a controlled commodity, technology, or software/codes with an intent to transfer it to a non-U.S. entity or individual, wherever they are located (including a SUNY researcher/foreign student).
Any transfer of these items to a foreign embassy or affiliate. The only exports listed on the export "controlled technologies" list are those for which the U.S. government requires a license. The vast majority of exports do not require a U.S. government license.
Is the Research Foundation affected?
Yes, the RF is affected by the export control laws and regulations. Following the September 11, 2001 terrorist attacks the United States Government export control laws and regulations became more prominent. University compliance has come into focus because of the intersections associated with cutting-edge science, technology and engineering research, national security, foreign policy, and homeland security. It is important that State University of New York faculty, researchers, and administrative staff understand the export control laws and regulations, the associated responsibilities, and adhere to them to assure compliance. Export controls impact a broad area of university research, and the penalties for non-compliance fall on individuals and they are severe.
Is all research affected?
The export control regulations affect all research, and potentially instruction, however most of the research conducted by the University is fundamental and is exempt from export controls. However, there are instances when research is export controlled, and those cases may increase with the federal government's extended funding for homeland security research. Universities are provided with the fundamental research exemption, if there are no restrictions on publication of the research, other restrictions on the dissemination of the information, or if the research/information is made public or is intended to be made public.
The Export Policy was developed utilizing the definitions in 734 CFR
§ 734.8 Information resulting from fundamental research.
(a) Fundamental research. Paragraphs (b) through (d) of this section and § 734.11 of this part provide specific rules that will be used to determine whether research in particular institutional contexts qualifies as ‘‘fundamental research’’. The intent behind these rules is to identify as ‘‘fundamental research’’ basic and applied research in science and engineering, where the resulting information is ordinarily published and shared broadly within the scientific community. Such research can be distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary reasons or specific national security reasons as defined in § 734.11(b) of this part. (See Supplement No. 1 to this part, Question D(8)). Note that the provisions of this section do not apply to encryption software controlled under ECCN 5D002 for ‘‘EI’’ reasons on the Commerce Control List (refer to §§ 740.13(e) and 740.17(a)(5)(i) of the EAR for release under license exception).
(b) University based research.
(1) Research conducted by scientists, engineers, or students at a university normally will be considered fundamental research, as described in paragraphs (b)(2) through (6) of this section. (‘‘University’’ means any accredited institution of higher education located in the United States.)
(2) Prepublication review by a sponsor of university research solely to insure that the publication would not inadvertently divulge proprietary information that the sponsor has furnished to the researchers does not change the status of the research as fundamental research. However, release of information from a corporate sponsor to university researchers where the research results are subject to prepublication review, is subject to the EAR. (See Supplement No. 1 to this part, Questions D(7), D(9), and D(10).)
(3) Prepublication review by a sponsor of university research solely to ensure that publication would not compromise patent rights does not change the status of fundamental research, so long as the review causes no more than a temporary delay in publication of theresearch results.
(4) The initial transfer of information from an industry sponsor to university researchers is subject to the EAR where the parties have agreed that the sponsor may withhold from publication some or all of the information so provided. (See Supplement No. 1 to this part, Question D(2).)
(5) University based research is not considered ‘‘fundamental research’’ if the university or its researchers accept (at the request, for example, of an industrial sponsor) other restrictions on publication of scientific and technical information resulting from the project or activity. Scientific and technical information resulting from the research will nonetheless qualify as fundamental research once all such restrictions have expired or have been removed. (See Supplement No. 1 to this part, Question D(7) and D(9).)
(6) The provisions of § 734.11 of this part will apply if a university or its researchers accept specific national security controls (as defined in § 734.11 of this part) on a research project or activity sponsored by the U.S. Government. (See Supplement No. 1 to this part, Questions E(1) and E(2).)
(c) Research based at Federal agencies or FFRDCs. Research conducted by scientistsor engineers working for a Federalagency or a Federally Funded Researchand Development Center(FFRDC) may be designated as ‘‘fundamentalresearch’’ within any appropriatesystem devised by the agency orthe FFRDC to control the release of informationby such scientists and engineers.(See Supplement No. 1 to thispart, Questions D(8) and D(11).)
(d) Corporate research.
(1) Research conducted by scientists or engineers working for a business entity will be considered ‘‘fundamental research’’ at such time and to the extent that the researchers are free to make scientific and technical information resulting from the research publicly available without restriction or delay based on proprietary concerns or specific national security controls as defined in § 734.11(b) of this part.
(2) Prepublication review by the company solely to ensure that the publication would compromise no proprietary information provided by the company to the researchers is not considered to be a proprietary restriction under paragraph (d)(1) of this section. However, paragraph (d)(1) of this section does not authorize the release of information to university researchers where the research results are subject to prepublication review. (See Supplement No. 1 to this part, Questions D(8), D(9), and D(10).)
(3) Prepublication review by the company solely to ensure that prepublication would compromise no patent rights will not be considered a proprietary restriction for this purpose, so long as the review causes no more than a temporary delay in publication of the research results.
(4) However, the initial transfer of information from a business entity to researchers is not authorized under the ‘‘fundamental research’’ provision where the parties have agreed that the business entity may withhold from publication some or all of the information so provided.
(e) Research based elsewhere. Research conducted by scientists or engineers who are not working for any of the institutions described in paragraphs (b) through (d) of this section will be treated as corporate research, as described in paragraph (d) of this section.
(See Supplement No. 1 to this part, Question D(8).)
[61 FR 12746, Mar. 25, 1996, as amended at 61FR 68579, Dec. 30, 1996; 62 FR 25456, May 9, 1997; 65 FR 2496, Jan. 14, 2000]
§ 734.9 Educational information. ‘‘Educational information’’ referredto in § 734.3(b)(3)(iii) of this part is notsubject to the EAR if it is released byinstruction in catalog courses and associatedteaching laboratories of academicinstitutions. Dissertation researchis discussed in § 734.8(b) of thispart. (Refer to Supplement No. 1 tothis part, Question C(1) through C(6)).Note that the provisions of this sectiondo not apply to encryption softwarecontrolled under ECCN 5D002 for ‘‘EI’’reasons on the Commerce Control List(refer to §§ 740.13(e) and 740.17(a)(5)(i) ofthe EAR for release under license exception).
[61 FR 68579, Dec. 30, 1996, as amended at 65FR 2496, Jan. 14, 2000]
Responsible Individuals
Adequate Training
Screening of Researchers and Individuals Conducting University Business
Recordkeeping
Internal System for Reporting Export Violations
Internal/External Review of Procedures; Method for Review/Revision/Update of Compliance Program
Introduction Effective February 20, 2011 campuses are required to complete an export controls certification on Form I-129 for a foreign national person working on a sponsored program at a State University of New York (SUNY) campus location on an H-1B or O-1 visa. This template, modified as needed, may be used to document the export controls certification.
Instructions Each campus should establish an export control certification process that includes, but is not limited to, coordination between the following staff:
Human resources staff
Sponsored programs/research staff
Principal investigator, project staff
Operations manager
Regulations The requirements that must be reviewed are the:
U.S. Department of Commerce Export Administration Regulations (EAR)
Legislation: The Export Administration Act of 1979, as amended (50 USC 2401-2420)
Description of Project/Duties on which the Foreign National will work:
(Attach additional paperwork if necessary)
Access to Technology/Technical Data
Question
Yes
No
Will the foreign national be provided access to any RF-owned technical data or technology that is considered proprietary or confidential to the RF?
Will the foreign national be provided access to any third-party owned technical data or technology that is considered proprietary or confidential to the third-party owner? This includes U.S. government furnished technical data with dissemination controls or other restrictive markings as well as ITAR-controlled software?
Will the foreign national be provided access to any technology or technical information listed in the EAR?
If yes, is the technology or technical information restricted for public dissemination or require notification to the Department of Commerce prior to public dissemination?
Will the foreign national be provided access to equipment specifically designed or developed for military or space applications?
If yes, are any of the foreign national’s prior countries of citizenship, nationality or birth listed as a country to which exports are prohibited under Part 126.1 of the ITAR?
If yes, are any of the foreign national’s prior countries of citizenship, nationality or birth listed as a country to which exports are prohibited under Part 126.1 of the ITAR?
Is the foreign national’s most recently acquired country of citizenship or lawful residence in a terrorist country as identified by the U.S. Department of State?
Will the foreign national be involved in a research project?
If yes, will the research results be taught, published or otherwise shared with the interested public?
Restricted Parties Screening (RPS)
Question
Date of Screening
Yes
No
Is the proposed foreign national identified on any federal government restricted party list?
Note: Attach a copy of the RPS Screening and a copy of any documentation that was used in determining the foreign national’s status of a restricted party.
License Determination
Yes
No
A license is not required from either the U.S. Department of Commerce or the U.S. Department of State to release such technology or technical data to the foreign person.
A license is required from the U.S. Department of Commerce or the U.S. Department of State to release such technology or technical data to the beneficiary and the petitioner will prevent access to the controlled technology or technical data by the beneficiary until and unless the petitioner has received the required license or other authorization to release it to the beneficiary.
Certification I certify, as indicated by my signature below, that I reviewed the EAR and ITAR in relation to the sponsored program and proposed foreign national person identified on this form.
Principal Investigator Printed Name:
Principal Investigator Signature and Date:
Operations Manager or Designee Printed Name:
Operations Manager or Designee Signature and Date:
You might also consider connecting with our RF license/customer associate – Mark Ferguson: mferguson@ecustoms.com, 855-630-3200 x442
I hope this is a helpful start Paul – let me know if you need anything else! TY! ~C~
Each individual wishing to access Visual Compliance is required to have an individual Username and Password. To obtain your Username and Password please follow the link below and fill in the required information:
https://www.visualcompliance.com/register/SUNY/add_user.cfm?VCRUserID=SUNY&VCRPassword=ALBANY
Once you have filled in the information, a confirmation email will be sent to you. You may then access VCII by going to https://www.visualcompliance.com/logon.cfm and entering your User ID. Your email address is your username. You created the password when you registered.
Please note that there will be a pop-up screen listing the Terms and Conditions. This is a one time only pop-up. If you have a pop-up blocker on your desktop you will not be able to view the screen and will not know why you cannot access the system. Please be aware that you need to view and accept the Terms and Conditions before you will be granted access. You should allow www.visualcompliance.com as a trusted website so you will be able to view the Terms and Conditions in the event of Pop-up blockers on you desktop.
If in future you forget your Password, go to the Visual Compliance site at https://www.visualcompliance.com/logon.cfm and click the “Forgot your Password” reminder. Enter your email address and your password will be emailed to you right away.
Please feel free to contact me if you have questions or concerns with any of this information.
Please feel free to circulate this link to any users you wish to have access to Visual Compliance.
Use this checklist when reviewing the following:
If the answer to any of these questions is ‘Yes,’ or if you have any other questions related to export controls, please contact Maggie Bryan-Peterson in the SUNY Office of Sponsored Programs at 716-673-3528 or Maggie.Bryan-Peterson@fredonia.edu.
Research Foundation of SUNY (RF) offers the following guidance:
What is an export?
The export regulations define an export as:
Is the Research Foundation affected?
Yes, the RF is affected by the export control laws and regulations. Following the September 11, 2001 terrorist attacks the United States Government export control laws and regulations became more prominent. University compliance has come into focus because of the intersections associated with cutting-edge science, technology and engineering research, national security, foreign policy, and homeland security. It is important that State University of New York faculty, researchers, and administrative staff understand the export control laws and regulations, the associated responsibilities, and adhere to them to assure compliance. Export controls impact a broad area of university research, and the penalties for non-compliance fall on individuals and they are severe.
Is all research affected?
The export control regulations affect all research, and potentially instruction, however most of the research conducted by the University is fundamental and is exempt from export controls. However, there are instances when research is export controlled, and those cases may increase with the federal government's extended funding for homeland security research. Universities are provided with the fundamental research exemption, if there are no restrictions on publication of the research, other restrictions on the dissemination of the information, or if the research/information is made public or is intended to be made public.
The Export Policy was developed utilizing the definitions in 734 CFR
§ 734.8 Information resulting from fundamental research.
(a) Fundamental research. Paragraphs (b) through (d) of this section and § 734.11 of this part provide specific rules that will be used to determine whether research in particular institutional contexts qualifies as ‘‘fundamental research’’. The intent behind these rules is to identify as ‘‘fundamental research’’ basic and applied research in science and engineering, where the resulting information is ordinarily published and shared broadly within the scientific community. Such research can be distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary reasons or specific national security reasons as defined in § 734.11(b) of this part. (See Supplement No. 1 to this part, Question D(8)). Note that the provisions of this section do not apply to encryption software controlled under ECCN 5D002 for ‘‘EI’’ reasons on the Commerce Control List (refer to §§ 740.13(e) and 740.17(a)(5)(i) of the EAR for release under license exception).
(b) University based research.
(1) Research conducted by scientists, engineers, or students at a university normally will be considered fundamental research, as described in paragraphs (b)(2) through (6) of this section. (‘‘University’’ means any accredited institution of higher education located in the United States.)
(2) Prepublication review by a sponsor of university research solely to insure that the publication would not inadvertently divulge proprietary information that the sponsor has furnished to the researchers does not change the status of the research as fundamental research. However, release of information from a corporate sponsor to university researchers where the research results are subject to prepublication review, is subject to the EAR. (See Supplement No. 1 to this part, Questions D(7), D(9), and D(10).)
(3) Prepublication review by a sponsor of university research solely to ensure that publication would not compromise patent rights does not change the status of fundamental research, so long as the review causes no more than a temporary delay in publication of theresearch results.
(4) The initial transfer of information from an industry sponsor to university researchers is subject to the EAR where the parties have agreed that the sponsor may withhold from publication some or all of the information so provided. (See Supplement No. 1 to this part, Question D(2).)
(5) University based research is not considered ‘‘fundamental research’’ if the university or its researchers accept (at the request, for example, of an industrial sponsor) other restrictions on publication of scientific and technical information resulting from the project or activity. Scientific and technical information resulting from the research will nonetheless qualify as fundamental research once all such restrictions have expired or have been removed. (See Supplement No. 1 to this part, Question D(7) and D(9).)
(6) The provisions of § 734.11 of this part will apply if a university or its researchers accept specific national security controls (as defined in § 734.11 of this part) on a research project or activity sponsored by the U.S. Government. (See Supplement No. 1 to this part, Questions E(1) and E(2).)
(c) Research based at Federal agencies or FFRDCs. Research conducted by scientistsor engineers working for a Federalagency or a Federally Funded Researchand Development Center(FFRDC) may be designated as ‘‘fundamentalresearch’’ within any appropriatesystem devised by the agency orthe FFRDC to control the release of informationby such scientists and engineers.(See Supplement No. 1 to thispart, Questions D(8) and D(11).)
(d) Corporate research.
(1) Research conducted by scientists or engineers working for a business entity will be considered ‘‘fundamental research’’ at such time and to the extent that the researchers are free to make scientific and technical information resulting from the research publicly available without restriction or delay based on proprietary concerns or specific national security controls as defined in § 734.11(b) of this part.
(2) Prepublication review by the company solely to ensure that the publication would compromise no proprietary information provided by the company to the researchers is not considered to be a proprietary restriction under paragraph (d)(1) of this section. However, paragraph (d)(1) of this section does not authorize the release of information to university researchers where the research results are subject to prepublication review. (See Supplement No. 1 to this part, Questions D(8), D(9), and D(10).)
(3) Prepublication review by the company solely to ensure that prepublication would compromise no patent rights will not be considered a proprietary restriction for this purpose, so long as the review causes no more than a temporary delay in publication of the research results.
(4) However, the initial transfer of information from a business entity to researchers is not authorized under the ‘‘fundamental research’’ provision where the parties have agreed that the business entity may withhold from publication some or all of the information so provided.
(e) Research based elsewhere. Research conducted by scientists or engineers who are not working for any of the institutions described in paragraphs (b) through (d) of this section will be treated as corporate research, as described in paragraph (d) of this section.
(See Supplement No. 1 to this part, Question D(8).)
[61 FR 12746, Mar. 25, 1996, as amended at 61FR 68579, Dec. 30, 1996; 62 FR 25456, May 9, 1997; 65 FR 2496, Jan. 14, 2000]
§ 734.9 Educational information. ‘‘Educational information’’ referredto in § 734.3(b)(3)(iii) of this part is notsubject to the EAR if it is released byinstruction in catalog courses and associatedteaching laboratories of academicinstitutions. Dissertation researchis discussed in § 734.8(b) of thispart. (Refer to Supplement No. 1 tothis part, Question C(1) through C(6)).Note that the provisions of this sectiondo not apply to encryption softwarecontrolled under ECCN 5D002 for ‘‘EI’’reasons on the Commerce Control List(refer to §§ 740.13(e) and 740.17(a)(5)(i) ofthe EAR for release under license exception).
[61 FR 68579, Dec. 30, 1996, as amended at 65FR 2496, Jan. 14, 2000]
I-29
Export Control Certification for I-129 Form
Introduction
Effective February 20, 2011 campuses are required to complete an export controls certification on Form I-129 for a foreign national person working on a sponsored program at a State University of New York (SUNY) campus location on an H-1B or O-1 visa. This template, modified as needed, may be used to document the export controls certification.
Instructions
Each campus should establish an export control certification process that includes, but is not limited to, coordination between the following staff:
Regulations
The requirements that must be reviewed are the:
Resources
Basic Information
Access to Technology/Technical Data
Restricted Parties Screening (RPS)
was used in determining the foreign national’s status of a restricted party.
License Determination
Certification
I certify, as indicated by my signature below, that I reviewed the EAR and ITAR in relation to the sponsored program and proposed foreign national person identified on this form.
Printed Name:
Signature and Date:
Designee Printed Name:
Designee Signature and Date: